Initial Statement of Beneficial Ownership (3)
October 06 2020 - 9:48AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Doyle Alvaro |
2. Date of Event Requiring Statement (MM/DD/YYYY)
9/28/2020
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3. Issuer Name and Ticker or Trading Symbol
VICOR CORP [vicr]
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(Last)
(First)
(Middle)
25 FRONTAGE RD. |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner
___X___ Officer (give title below) _____ Other (specify below)
VP and CIO / |
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(Street)
ANDOVER, MA 01810
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4) | 2. Amount of Securities Beneficially Owned
(Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5) | 4. Nature of Indirect Beneficial Ownership
(Instr. 5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5) | 6. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Non Qualified Stock Option | (1) | 7/21/2024 | Common Stock | 1276 | $6.77 | D | |
| Non Qualified Stock Option | (2) | 10/2/2027 | Common Stock | 3500 | $24.15 | D | |
| Non Qualified Stock Option | (3) | 6/24/2030 | Common Stock | 6013 | $69.04 | D | |
| Non Qualified Stock Option | (4) | 9/9/2030 | Common Stock | 3600 | $84.5 | D | |
| Explanation of Responses: |
| (1) | 710 options are vested. The remaining 566 options vest on 7/21/2021 and 7/21/2022. |
| (2) | Granted under the Company's Amended and Restated 2000 Stock Option and Incentive Plan on 10/2/2017 and vest over a five year period. |
| (3) | Granted under the Company's Amended and Restated 2000 Stock Option and Incentive Plan on 6/24/2020 and vest over a five year period. |
| (4) | Granted under the Company's Amended and Restated 2000 Stock Option and Incentive Plan on 9/9/2020 and vest over a five year period. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Doyle Alvaro
25 FRONTAGE RD.
ANDOVER, MA 01810 |
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| VP and CIO |
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Signatures
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| /s/Richard J. Nagel Jr. Attorney in fact for Alvaro Doyle | | 10/6/2020 |
| **Signature of Reporting Person | Date |
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